Adam Atkinson
Head of CASS Oversight, Schroders Personal Wealth
I am currently the Head of CASS Oversight for Schroders Personal Wealth (SPW), a relatively new joint venture between Lloyds Banking Group and Schroders plc with aspirations to become a top 3 investment management firm, as such my role is both fast paced and ever evolving. My background is within execution only stockbroking having worked in CASS for a number of years within Halifax Sharedealing Limited followed by a period within Lloyds Commercial Bank managing pledged assets and TTCA’s. Prior to this my career began working for Deloitte where I worked on CASS and statutory auditing for financial services clients.
Tom Callaby
Senior Associate, CMS
Tom is a Senior Associate at CMS and advises financial services firms and market participants on a range of UK and EU regulatory issues, including MiFID, client assets/CASS compliance and Brexit. He works with established international and UK groups and also market entrants in the fintech space.
Austin Copp
Global Head of Client Money and Assets Compliance, HSBC
Dennis Cheng
Director, Audit & Assurance, Deloitte LLP
Dennis is a Director in our Banking and Capital Markets Audit and Assurance Practice in London. His areas of specialism are the trading activities and back office operations of financial institutions and Client Assets CASS audits of banks and investment firms. Dennis is one of the industry’s market leading experts in the FCA Client Assets CASS rules where he has provided audit, assurance and advisory services to a wide range of businesses such as custody banks, prime brokers, broker-dealers, wealth and private banking, corporate trust and depositories, securities financing, listed derivatives houses, crowdfunding platforms and P2P lenders. Dennis also has international experience working on other client assets regulatory regime in Ireland, Jersey, Japan, Singapore, Hong Kong, Dubai, and Australia.
Shermeen Kazmi
Director, Financial Services Audit, Grant Thornton UK LLP
Shermeen has over 16 years experience in the audit industry and has managed audits of financial services clients including insurance brokers, investment trusts and asset managers. She is a dedicated financial services specialist, with experience across the financial services industry and FCA regulated businesses, including Client Asset (CASS) assurance engagements. She is a technical and quality assurance specialist, primarily on CASS assurance engagements and is responsible for independent technical clearance of CASS audit reports under SUP 3.10. Shermeen also looks after the risk management of CASS assurance engagements and provides technical support on regulatory (including CASS) queries for the firm’s regulated audit clients. She serves on the ICAEW CASS working party and also meets regularly with the FCA to discuss CASS matters.
Jeffrey Mushens
Technical Policy Director, TISA
Jeffrey, having read History at Cambridge qualified as a Chartered Accountant with Coopers & Lybrand (now PwC). He then spent seven years in banking including posts as chief accountant of two merchant banks (HongKongBank and Samuel Montagu). He has spent 25 years in the funds industry, including 15 years at M&G, where he held a number of operational roles including Chief Trusts Accountant, setting up M&G's call centre, launching closed and open ended funds, public affairs spokesman, and responsibility for non-compliance relationships with regulators, HMRC and Government. He was a director of M&G and ran M&G's direct business.
Steven Latto
Head of CASS, Aberdeen Standard Investments
Steve joined Aberdeen Standard Investments (ASI) in 2013. Since then he has had responsibility for overseeing ASI’s compliance with the FCA’s CASS rules as well as a number of other broader responsibilities.
Prior to joining ASI, Steve worked for Alliance Trust for 15 years where he held a number of positions, including Head of Pensions for Alliance Trust Savings. Prior to joining Alliance Trust, Steve worked for KPMG for three years where he trained as a Chartered Accountant.
In addition to his CA qualification, Steve also holds an MBA from Strathclyde University.
Ash Saluja
Partner, Head of Financial Services & Products, CMS
Ash Saluja has over 20 years of experience advising clients on regulatory and commercial matters. Clients include banks, broker-dealers, funds, investment managers and advisers, exchanges, platforms and trading facilities, insurers and insurance intermediaries, as well as the large corporate/pension fund clients and suppliers of these types of institutions. Ash advises on the authorisation and conduct of business requirements, corporate governance, regulatory capital, client money and assets, product design and distribution, cross border business, insider dealing and market abuse, anti-money laundering requirements, as well as the regulatory aspects of mergers and acquisitions, restructurings, joint ventures and outsourcings.
Elaine Rogers
Senior Vice President, Head of Global Services Control, CASS Office, Northern Trust
Amarjit is a Partner at EY, leading EY’s extended assurance offerings in Wealth & Asset Management sector. He has worked with a wide range of clients from global asset managers and their funds through to investment trusts, private equity houses and hedge fund managers on variety of assignments from traditional audits to internal control reviews as well as s39/s166 FSA/FCA engagements. He spent four years in various roles at J.P. Morgan Asset Management before rejoining EY as a partner in 2008. Currently he is responsible for a number of Ernst & Young’s largest wealth and asset management clients and also provides regulatory assistance especially advising asset and wealth managers on CASS, MiFID II, CRD IV, Suitability and Solvency II. He chairs the ICAEW’s Investment Management Committee and represents EY at the FRC and FCA on CASS matters. Amarjit is an active supporter of the Diversity & Inclusiveness programme at EY and is the chair of the EY Sikh Network. He leads our engagement with clients on their D&I initiatives in the Financial Services industry.
